Investment adviser · CRD 110687

SYMPHONY ASSET MANAGEMENT LLC

Investment adviser filing (IA)

SAN FRANCISCO, CA, United States · Form ADV filed Dec 11, 2020

Regulatory AUM: $16.2B
Client accounts: 46
Employees: 99
Advisory professionals: 44

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	29	$9,178,037,557	56.5%
Investment companies	12	$5,651,566,630	34.8%
Corporations & businesses	Fewer than 5	$738,794,031	4.5%
Retirement plans	Fewer than 5	$539,268,773	3.3%
Government entities	Fewer than 5	$132,436,525	0.8%

Filing source

Form ADV 1474014 · Dec 11, 2020 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

50+ Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

Browse the first 49 funds across 7 pages.

BAYCITY CORPORATE ARBITRAGE AND RELATIVE VALUE FUND, L.P.Hedge Fund · Last reported Dec 11, 2020$758MGross asset value

Fund administrator J.P. MORGAN HEDGE FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP SAN FRANCISCO, California, United States

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Custodian WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

J.P. MORGAN SECURITIES LLC
SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-8708057562
Reported beneficial owners: 5
Minimum commitment: $5M
Form D file number: 021-244510

Form ADV 1474014 · Dec 11, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

BAYCITY LONG-SHORT CREDIT MASTER FUND LTD.Hedge Fund · Last reported Dec 11, 2020$595MGross asset value

Feeder funds

ADAGIO FUND
ADANTE FUND, L.P.
BAYCITY LONG-SHORT CREDIT UNIT TRUST

Fund administrator BNY MELLON ALTERNATIVE INVESTMENT SERVICES LTD HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Auditor PRICEWATERHOUSECOOPERS LLP SAN FRANCISCO, California, United States

Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Custodian WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States Related to adviser: No

Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

BARCLAYS CAPITAL INC.
SEC 8-41342

J.P. MORGAN SECURITIES LLC
SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-4931829940
Reported beneficial owners: 36
Minimum commitment: $5M
Form D file number: 021-129299
Form D file number: 021-39053

Form ADV 1474014 · Dec 11, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SYMPHONY CLO XV, LTD.Securitized Asset Fund · Last reported Dec 11, 2020$542MGross asset value

Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-3539957499
Reported beneficial owners: 3
Minimum commitment: $250K

Form ADV 1474014 · Dec 11, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SYMPHONY CLO XIV, LTD.Securitized Asset Fund · Last reported Dec 11, 2020$534MGross asset value

Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-6275052883
Reported beneficial owners: 8
Minimum commitment: $250K

Form ADV 1474014 · Dec 11, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CALIFORNIA STREET CLO IX LIMITED PARTNERSHIPSecuritized Asset Fund · Last reported Dec 11, 2020$533MGross asset value

Fund administrator BANK OF NEW YORK MELLON TRUST COMPANY, NA HOUSTON, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian BANK OF NEW YORK MELLON TRUST COMPANY, NA HOUSTON, Texas, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-2620981085
Reported beneficial owners: 3
Minimum commitment: $500K

Form ADV 1474014 · Dec 11, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CALIFORNIA STREET CLO XII, LTD.Securitized Asset Fund · Last reported Dec 11, 2020$487MGross asset value

Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-1953597000
Reported beneficial owners: 5
Minimum commitment: $250K
Form D file number: 021-205757

Form ADV 1474014 · Dec 11, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SYMPHONY CLO XIX, LTD.Securitized Asset Fund · Last reported Dec 11, 2020$458MGross asset value

Fund administrator U.S. BANK NATIONAL ASSOCIATION ST. PAUL, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian U.S. BANK NATIONAL ASSOCIATION ST. PAUL, Minnesota, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-7750549774
Reported beneficial owners: 6
Minimum commitment: $250K

Form ADV 1474014 · Dec 11, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Dec 11, 2020. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

555 CALIFORNIA STREET, SUITE 3100
SAN FRANCISCO, CA, 94104-1534, United States

CRD 110687

Filing source

Form ADV 1474014 · Dec 11, 2020 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.